DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• G••• M•••••••
Feed of 09/15/2026
At current firm
21 y
since Sep 13, 2005
In the industry
28 y
since Apr 27, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 13, 2005 · Wayzata, Mn
- S••••• C•••••• M••••••••• I•• unclassifiedAug 24, 2001 to Nov 1, 2004 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- S••••• C•••••• M••••••••• I•• to U•• F•••••••• S••••••• I•••left Nov 1, 2004, registered Sep 13, 2005 (316 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address